Bank of America Broker Dealer Regulatory Reporting Senior Regulatory Reporting Controller in Charlotte, North Carolina
Enterprise Role Overview:
Reviews legal entity P&L, balance sheet, liquidity, capital and FX reports filed with the local regulators and challenges variance analysis. Reviews periodic regulatory calculations and control processes for local regulated entities including: Banks, Broker Dealers and other legal entities. Reviews/approves data submissions for regulatory reporting teams.
Senior Regulatory Controller for Merrill Lynch Professional Clearing Corp (MLPCC) oversight role – Vice President / Assistant Vice President (Based on Experience)
Review and signing off on daily and monthly 15c3-1 and 15c3-3 Capital computation and Customer reserve
Responsible for the review of all MLPCC procedures and control documentation
Responsible for responding to queries from Business Partners related to the daily 15c3-1 and 15c3-3 capital computation and customer reserve
Interacting and providing support to FINRA, SEC, internal and external auditors
Review and preparation of month end MLPCC FOCUS Reporting
Assist in team development and training
Bachelor’s degree (or higher) (finance or accounting strongly preferred)
8-10 years of professional experience in accounting/finance
Ability to work on multiple, complex tasks simultaneously and against aggressive deadlines
Strong problem solving skills and analytical abilities
Strong communication and presentation skills
Ability to work well both independently and as part of a team
Strong attention to details
Advanced experience/skills with Excel and complex spreadsheets
Previous experience in the financial services industry
Previous experience in a regulatory reporting role and SEC Broker-Dealer rules 15c3-1 and 15c3-3
This position is posted as aSenior Regulatory Reporting Controllerbut is flexible to be filled as aRegulatory Reporting Controller IIif the posted qualifications are met by a strongRegulatory Reporting Controller IIlevel applicant.
Posting Date : 04/16/2018
Charlotte, NC, TRANSAMERICA SQUARE, 401 N TRYON ST,
- United States
Travel : No
Full / Part-time : Full time
Hours Per Week : 40
Shift : 1st shift
Assistance for Applicants with Disabilities
Bank of America is committed to ensuring that our online application process provides an equal employment opportunity to all job seekers, including individuals with disabilities. If you believe you need a reasonable accommodation in order to search for a job opening or to submit an application, please visit the Applicants with Disabilities page at http://careers.bankofamerica.com/us/applicants-with-disabilities .
Diversity & Inclusion
At Bank of America, our commitment to diversity and inclusion is helping us to create not only a great place to work, but also an environment where our employees, our customers and our communities around the world can reach their goals and connect with each other. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, age, or veteran status.
Frequently Asked Questions
Need to know how to apply online, view a list of your submitted job applications or reset your password? Visit our FAQ at http://careers.bankofamerica.com/us/faq section for answers to these questions and more.